Developing Investigative Plans

Transcription

1 Developing Investigative Plans Core Curriculum September 2011 Annapolis, Maryland Presented By: Billie Pirner Garde, Esq. Clifford & Garde, LLP 1707 L Street, N.W., 500 Washington, D.C Clifford & Garde, LLP Initial Interview is key to identification of all issues and concerns; 2. Identification of all issues and concerns is key to the development of a comprehensive investigation plan; 3. Identification of correct standards is key to preparing a defensible investigation plan; 4. A comprehensive investigation plan is key to a credible investigation. Clifford & Garde, LLP 2 1. Initial Interview is Key to Identification of all Issues and Concerns Clifford & Garde, LLP 3 1

2 Identify all issues and concerns; Gather all material facts; Determine if formal or informal investigation is needed; Instill confidence in the ECP program; Determine if there are imminent safety or retaliation issues. Clifford & Garde, LLP 4 Identify the key event or issues: What happened? What was improper? Why did it happen? Who was involved? When did it happen? Is there any written documentation? Are there witnesses to the event? What actions were taken to address the event? Clifford & Garde, LLP 5 Thank the employee and confirm the employee s belief that you can be fair and impartial in conducting the investigation; Address confidentiality of concern and confidentiality process; Establish timeline and process for further communication; Discuss any concerns about retaliation. Clifford & Garde, LLP 6 2

3 Write confirmation letter or issue statement, summarizing all of the issues that the employee raised and confirming completeness of concerns; Obtain employee concurrence or signature on the issue statement; Ask employee for assistance in identifying facts, people and documentation to support claim. Clifford & Garde, LLP 7 Does the concern require immediate intervention because of safety significance? Should the concern be referred to another office, i.e., HR or SCWE? Is the concern beyond the scope of the ECP office? Do any other considerations mitigate action? Clifford & Garde, LLP 8 2. Identification of all Issues and Concerns is Key to the Development of a Comprehensive Investigation Plan Clifford & Garde, LLP 9 3

4 Technical Issues violations of procedures, Tech Specs, Regulatory Requirements, etc.; Discrimination personnel actions that violate Title VII or prohibit personnel practices; Retaliation actions that cause a chilling effect on others: Personnel actions Hostile Work Environment Clifford & Garde, LLP 10 Compliance Issues or violations of corporate commitments or promises Ethics Waste, fraud or abuse Violations of Company Code of Conduct Mismanagement of resources Bullying Unfair treatment, favoritism, etc. Clifford & Garde, LLP Identification of Correct Standards is Key to Preparing a Defensible Investigation Plan Clifford & Garde, LLP 12 4

5 Once the issues/concerns have been identified, identify what standards apply Law Regulation Procedure Policy Guideline Standard Clifford & Garde, LLP A Comprehensive Investigation Plan is Key to a Credible Investigation Clifford & Garde, LLP List all issues and concerns; 2. For each concern, or issue, identify the standard that is going to be used to determine if the concern is substantiated or not; 3. Identify all necessary facts to be gathered; Clifford & Garde, LLP 15 5

6 4. Develop working timeline of relevant events; 5. Develop working list of witnesses and people important to the investigation; 6. Develop working list of documents; 7. Prepare investigation plan; Discuss with concerned employee to ensure you have captured everything; 8. Review with ECP manager. Clifford & Garde, LLP 16 Discussion Points Clifford & Garde, LLP 17 Ask the employee to list the names of people he/she suggests may have information relevant to this investigation, and suggestions for obtaining relevant documentation ( s, memos, performance reviews, etc.); Gather all information possible before beginning interviews; Decide who will be interviewed, and in what order (interview suspected individual(s)/senior personnel first); Decide what background material you will need to review prior to beginning your interview(s); Clifford & Garde, LLP 18 6

7 Draft your basic interview questions for all those interviewed, and the specific things you need to know from individual witnesses (never do an interview by the seat of your pants ); Draft an interview schedule; Have a co-worker/supervisor review your plan for content, completeness; Become familiar with the documentation associated with the case; When appropriate, visit the physical site and review sketches and photos, if available. Clifford & Garde, LLP 19 Keep a working timeline that you continue to add facts/information to: Assists in comparing the versions of events provided by each witness; Guides the determination of where versions may differ; Identifies undisputed facts; Identifies what information is missing. Clifford & Garde, LLP 20 If the parties are in agreement on a fact, or as issues are resolved, the information should be moved to a list of undisputed facts; Continue to narrow the issues in dispute; Focus on only the issues that need to be resolved. Clifford & Garde, LLP 21 7

8 New issues should get same initial evaluation; Determine if the issue should be a separate case or handled within original investigation: Add issue; Identify standard; Revise plan. Do not lose focus. Clifford & Garde, LLP 22 Clifford & Garde, LLP 23 Questions Clifford & Garde, LLP 24 8